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Sec 13d Filing

sec_13d_filing
Read-onlyIdempotent

Parse ONE Schedule 13D or 13G filing by issuer + accession_number (get the accession_number from sec_13d_filings). Returns every reporting owner (the "group members") with percent of class, sole/shared voting power, sole/shared dispositive power, and aggregate shares owned; for Schedule 13D, also Item 4 — the free-text "Purpose of Transaction", which is where an activist states its intent (board seats, a merger, liquidation, or "no plans"). Filings from before SEC's 2024 structured-XML rule have no machine-readable fields — this returns structured: false plus the bounded plain text of the filing instead of silently returning empty data.

Input Schema

NameRequiredDescriptionDefault
cikNoAlias for ticker_or_cik.
tickerNoAlias for ticker_or_cik.
ticker_or_cikNoTicker, company name, or CIK of the ISSUER the filing is about (same value you passed to sec_13d_filings).
accession_numberYesThe filing's SEC accession number, e.g. "0001104659-25-086308" (dashes optional). From sec_13d_filings.

Output Schema

NameRequiredDescriptionDefault
cikYes
formYes
noteNo
itemsNo
raw_textNo
data_as_ofYes
event_dateNo
structuredYes
form_familyNo
issuer_nameYes
is_amendmentYes
item4_purposeNo
accession_numberYes
filing_index_urlYes
reporting_ownersNo
raw_text_truncatedNo
primary_document_urlNo
securities_class_titleNo

Schema Changelog

Changes observed during successful MCP inspections.

  1. First observed

TDQS

A4.1/5.0
Behavior4/5

Does the description disclose side effects, auth requirements, rate limits, or destructive behavior?

Annotations already cover the safety profile (readOnly, idempotent, non-destructive, openWorld), so the bar is lower. The description nonetheless adds genuinely non-obvious behavior: pre-2024 filings return `structured: false` with bounded plain text rather than empty data, which prevents an agent from misreading an empty result as no holdings.

Agents need to know what a tool does to the world before calling it. Descriptions should go beyond structured annotations to explain consequences.

Conciseness4/5

Is the description appropriately sized, front-loaded, and free of redundancy?

Front-loaded with the core action and identifier, and every sentence carries substance (owners returned, Item 4 purpose text, legacy fallback). The final sentence is long, but the detail is load-bearing rather than filler.

Shorter descriptions cost fewer tokens and are easier for agents to parse. Every sentence should earn its place.

Completeness4/5

Given the tool's complexity, does the description cover enough for an agent to succeed on first attempt?

For a parse tool with full schema coverage and an output schema present, the description is close to complete: it names the input, sketches the returned fields, and flags the legacy-format edge case. Pagination and any size limits on the plain-text fallback are the only notable omissions.

Complex tools with many parameters or behaviors need more documentation. Simple tools need less. This dimension scales expectations accordingly.

Parameters3/5

Does the description clarify parameter syntax, constraints, interactions, or defaults beyond what the schema provides?

Schema description coverage is 100%, so all four parameters (including the cik/ticker aliases) are already documented in the schema. The description only adds that ticker_or_cik is the same value passed to sec_13d_filings, which is marginal added meaning — thus the baseline 3.

Input schemas describe structure but not intent. Descriptions should explain non-obvious parameter relationships and valid value ranges.

Purpose5/5

Does the description clearly state what the tool does and how it differs from similar tools?

States a specific verb ("Parse") and resource ("ONE Schedule 13D or 13G filing"), scopes it to a single filing via issuer + accession_number, and names the sibling sec_13d_filings as the source of the identifier. An agent can distinguish this from sec_13d_filings and sec_13d_amendment_diff without opening a schema.

Agents choose between tools based on descriptions. A clear purpose with a specific verb and resource helps agents select the right tool.

Usage Guidelines4/5

Does the description explain when to use this tool, when not to, or what alternatives exist?

Explicitly tells the agent to obtain the accession_number from sec_13d_filings, which establishes the call sequence. It does not, however, mention when to prefer sec_13d_amendment_diff or how to handle amendment filings, so routing between the three 13D tools is only partially resolved.

Agents often have multiple tools that could apply. Explicit usage guidance like "use X instead of Y when Z" prevents misuse.

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